{"id":5909,"date":"2021-03-19T14:56:21","date_gmt":"2021-03-19T07:56:21","guid":{"rendered":"https:\/\/wincolaw.com.vn\/?p=5909"},"modified":"2025-12-19T17:00:24","modified_gmt":"2025-12-19T10:00:24","slug":"thong-tu-120-2020-tt-btc-quy-dinh-ve-giao-dich-co-phieu-niem-yet-dang-ky-giao-dich-va-chung-chi-quy-trai-phieu-doanh-nghiep-chung-quyen-co-bao-dam-niem-yet-tren-he-thong-giao-dich-chung-khoan-do-bo","status":"publish","type":"post","link":"https:\/\/wincolaw.com.vn\/vi\/thong-tu-120-2020-tt-btc-quy-dinh-ve-giao-dich-co-phieu-niem-yet-dang-ky-giao-dich-va-chung-chi-quy-trai-phieu-doanh-nghiep-chung-quyen-co-bao-dam-niem-yet-tren-he-thong-giao-dich-chung-khoan-do-bo.html","title":{"rendered":"Th\u00f4ng t\u01b0 120\/2020\/TT-BTC quy \u0111\u1ecbnh v\u1ec1 giao d\u1ecbch c\u1ed5 phi\u1ebfu ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch v\u00e0 ch\u1ee9ng ch\u1ec9 qu\u1ef9, tr\u00e1i phi\u1ebfu doanh nghi\u1ec7p, ch\u1ee9ng quy\u1ec1n c\u00f3 b\u1ea3o \u0111\u1ea3m ni\u00eam y\u1ebft tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n do B\u1ed9 T\u00e0i ch\u00ednh ban h\u00e0nh"},"content":{"rendered":"\n\n\n\n
\n

B\u1ed8 T\u00c0I CH\u00cdNH
\n——-<\/b><\/p>\n<\/td>\n

\n

C\u1ed8NG H\u00d2A X\u00c3 H\u1ed8I CH\u1ee6 NGH\u0128A VI\u1ec6T NAM
\n\u0110\u1ed9c l\u1eadp – T\u1ef1 do – H\u1ea1nh ph\u00fac
\n—————<\/b><\/p>\n<\/td>\n<\/tr>\n

\n

S\u1ed1: 120\/2020\/TT-BTC<\/p>\n<\/td>\n

\n

H\u00e0 N\u1ed9i, ng\u00e0y 31 th\u00e1ng 12 n\u0103m 2020<\/i><\/p>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

TH\u00d4NG T\u01af<\/b><\/p>\n

QUY \u0110\u1ecaNH GIAO D\u1ecaCH C\u1ed4 PHI\u1ebeU NI\u00caM Y\u1ebeT, \u0110\u0102NG K\u00dd GIAO D\u1ecaCH V\u00c0 CH\u1ee8NG CH\u1ec8 QU\u1ef8, TR\u00c1I PHI\u1ebeU DOANH NGHI\u1ec6P, CH\u1ee8NG QUY\u1ec0N C\u00d3 B\u1ea2O \u0110\u1ea2M NI\u00caM Y\u1ebeT TR\u00caN H\u1ec6 TH\u1ed0NG GIAO D\u1ecaCH CH\u1ee8NG KHO\u00c1N<\/p>\n

C\u0103n c\u1ee9\u00a0Lu\u1eadt Ch\u1ee9ng kho\u00e1n s\u1ed1 54\/2019\/QH14\u00a0ng\u00e0y 26 th\u00e1ng 11 n\u0103m 2019;<\/i><\/p>\n

C\u0103n c\u1ee9 Ngh\u1ecb \u0111\u1ecbnh s\u1ed1\u00a0155\/2020\/N\u0110-CP\u00a0ng\u00e0y 31 th\u00e1ng 12 n\u0103m 2020 c\u1ee7a Ch\u00ednh ph\u1ee7 quy \u0111\u1ecbnh chi ti\u1ebft thi h\u00e0nh m\u1ed9t s\u1ed1 \u0111i\u1ec1u c\u1ee7a Lu\u1eadt Ch\u1ee9ng kho\u00e1n;<\/i><\/p>\n

C\u0103n c\u1ee9 Ngh\u1ecb \u0111\u1ecbnh s\u1ed1\u00a087\/2017\/N\u0110-CP\u00a0ng\u00e0y 26 th\u00e1ng 7 n\u0103m 2017 c\u1ee7a Ch\u00ednh ph\u1ee7 quy \u0111\u1ecbnh ch\u1ee9c n\u0103ng, nhi\u1ec7m v\u1ee5, quy\u1ec1n h\u1ea1n v\u00e0 c\u01a1 c\u1ea5u t\u1ed5 ch\u1ee9c c\u1ee7a B\u1ed9 T\u00e0i ch\u00ednh;<\/i><\/p>\n

Theo \u0111\u1ec1 ngh\u1ecb c\u1ee7a Ch\u1ee7 t\u1ecbch \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc;<\/i><\/p>\n

B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh ban h\u00e0nh Th\u00f4ng t\u01b0 quy \u0111\u1ecbnh giao d\u1ecbch c\u1ed5 phi\u1ebfu ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch v\u00e0 ch\u1ee9ng ch\u1ec9 qu\u1ef9, tr\u00e1i phi\u1ebfu doanh nghi\u1ec7p, ch\u1ee9ng quy\u1ec1n c\u00f3 b\u1ea3o \u0111\u1ea3m ni\u00eam y\u1ebft tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/i><\/p>\n

\u0110i\u1ec1u 1. Ph\u1ea1m vi \u0111i\u1ec1u ch\u1ec9nh v\u00e0 \u0111\u1ed1i t\u01b0\u1ee3ng \u00e1p d\u1ee5ng<\/b><\/p>\n

1. Th\u00f4ng t\u01b0 n\u00e0y quy \u0111\u1ecbnh giao d\u1ecbch c\u1ed5 phi\u1ebfu ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch v\u00e0 ch\u1ee9ng ch\u1ec9 qu\u1ef9, tr\u00e1i phi\u1ebfu doanh nghi\u1ec7p, ch\u1ee9ng quy\u1ec1n c\u00f3 b\u1ea3o \u0111\u1ea3m ni\u00eam y\u1ebft tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

2. \u0110\u1ed1i t\u01b0\u1ee3ng \u00e1p d\u1ee5ng:<\/p>\n

a) Nh\u00e0 \u0111\u1ea7u t\u01b0;<\/p>\n

b) C\u00f4ng ty ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00fd, th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n;<\/p>\n

c) S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam; S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n H\u00e0 N\u1ed9i, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Th\u00e0nh ph\u1ed1 H\u1ed3 Ch\u00ed Minh (sau \u0111\u00e2y g\u1ecdi l\u00e0 S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n);<\/p>\n

d) T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam;<\/p>\n

\u0111) C\u01a1 quan, t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c c\u00f3 li\u00ean quan.<\/p>\n

\u0110i\u1ec1u 2. Gi\u1ea3i th\u00edch t\u1eeb ng\u1eef<\/b><\/p>\n

Trong Th\u00f4ng t\u01b0 n\u00e0y, c\u00e1c t\u1eeb ng\u1eef d\u01b0\u1edbi \u0111\u00e2y \u0111\u01b0\u1ee3c hi\u1ec3u nh\u01b0 sau:<\/p>\n

1.\u00a0Bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1<\/i>\u00a0l\u00e0 gi\u1edbi h\u1ea1n dao \u0111\u1ed9ng gi\u00e1 ch\u1ee9ng kho\u00e1n quy \u0111\u1ecbnh trong ng\u00e0y giao d\u1ecbch \u0111\u01b0\u1ee3c t\u00ednh theo t\u1ef7 l\u1ec7 ph\u1ea7n tr\u0103m (%) so v\u1edbi gi\u00e1 tham chi\u1ebfu.<\/p>\n

2.\u00a0Ng\u1eaft m\u1ea1ch th\u1ecb tr\u01b0\u1eddng<\/i>\u00a0(Circuit breaker) l\u00e0 c\u01a1 ch\u1ebf t\u1ea1m d\u1eebng giao d\u1ecbch t\u1ef1 \u0111\u1ed9ng trong phi\u00ean giao d\u1ecbch khi gi\u00e1 ch\u1ee9ng kho\u00e1n ho\u1eb7c ch\u1ec9 s\u1ed1 ch\u1ee9ng kho\u00e1n bi\u1ebfn \u0111\u1ed9ng ch\u1ea1m c\u00e1c ng\u01b0\u1ee1ng x\u00e1c \u0111\u1ecbnh tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

3.\u00a0Gi\u00e1 tham chi\u1ebfu<\/i>\u00a0l\u00e0 m\u1ee9c gi\u00e1 do S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n x\u00e1c \u0111\u1ecbnh v\u00e0 \u0111\u01b0\u1ee3c d\u00f9ng l\u00e0m c\u01a1 s\u1edf \u0111\u1ec3 x\u00e1c \u0111\u1ecbnh gi\u00e1 cao nh\u1ea5t (gi\u00e1 tr\u1ea7n), gi\u00e1 th\u1ea5p nh\u1ea5t (gi\u00e1 s\u00e0n) trong ng\u00e0y giao d\u1ecbch.<\/p>\n

4.\u00a0Ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh t\u1eadp trung<\/i>\u00a0l\u00e0 ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean c\u01a1 s\u1edf so kh\u1edbp c\u00e1c l\u1ec7nh mua v\u00e0 l\u1ec7nh b\u00e1n ch\u1ee9ng kho\u00e1n. Ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh t\u1eadp trung bao g\u1ed3m kh\u1edbp l\u1ec7nh \u0111\u1ecbnh k\u1ef3 v\u00e0 kh\u1edbp l\u1ec7nh li\u00ean t\u1ee5c.<\/p>\n

5.\u00a0Kh\u1edbp l\u1ec7nh \u0111\u1ecbnh k\u1ef3<\/i>\u00a0l\u00e0 ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean c\u01a1 s\u1edf so kh\u1edbp c\u00e1c l\u1ec7nh mua v\u00e0 l\u1ec7nh b\u00e1n ch\u1ee9ng kho\u00e1n t\u1ea1i m\u1ed9t th\u1eddi \u0111i\u1ec3m x\u00e1c \u0111\u1ecbnh.<\/p>\n

6.\u00a0Kh\u1edbp l\u1ec7nh li\u00ean t\u1ee5c<\/i>\u00a0l\u00e0 ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean c\u01a1 s\u1edf so kh\u1edbp c\u00e1c l\u1ec7nh mua v\u00e0 l\u1ec7nh b\u00e1n ch\u1ee9ng kho\u00e1n ngay khi l\u1ec7nh \u0111\u01b0\u1ee3c nh\u1eadp v\u00e0o h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

7.\u00a0Ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch th\u1ecfa thu\u1eadn<\/i>\u00a0l\u00e0 ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch trong \u0111\u00f3 c\u00e1c b\u00ean tham gia giao d\u1ecbch th\u00f4ng qua th\u00e0nh vi\u00ean giao d\u1ecbch t\u1ef1 th\u1ecfa thu\u1eadn v\u1ec1 c\u00e1c \u0111i\u1ec1u ki\u1ec7n giao d\u1ecbch tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n; ho\u1eb7c c\u00e1c b\u00ean tham gia giao d\u1ecbch th\u1ecfa thu\u1eadn, th\u1ef1c hi\u1ec7n giao d\u1ecbch, sau \u0111\u00f3 th\u00f4ng qua th\u00e0nh vi\u00ean giao d\u1ecbch ghi nh\u1eadn k\u1ebft qu\u1ea3 giao d\u1ecbch v\u00e0o h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

8.\u00a0Giao d\u1ecbch trong ng\u00e0y<\/i>\u00a0l\u00e0 giao d\u1ecbch mua v\u00e0 b\u00e1n c\u00f9ng m\u1ed9t m\u00e3 ch\u1ee9ng kho\u00e1n nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u01b0a s\u1edf h\u1eefu v\u1edbi c\u00f9ng m\u1ed9t kh\u1ed1i l\u01b0\u1ee3ng giao d\u1ecbch, th\u1ef1c hi\u1ec7n tr\u00ean c\u00f9ng m\u1ed9t t\u00e0i kho\u1ea3n v\u00e0 trong c\u00f9ng m\u1ed9t ng\u00e0y giao d\u1ecbch.<\/p>\n

9.\u00a0Giao d\u1ecbch mua b\u1eaft bu\u1ed9c<\/i>\u00a0(buy in) l\u00e0 giao d\u1ecbch mua ch\u1ee9ng kho\u00e1n \u0111\u1ec3 b\u1ea3o \u0111\u1ea3m c\u00f3 \u0111\u1ee7 s\u1ed1 l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n thanh to\u00e1n cho c\u00e1c giao d\u1ecbch thi\u1ebfu ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt.<\/p>\n

10.\u00a0Giao d\u1ecbch k\u00fd qu\u1ef9 t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n<\/i>\u00a0(sau \u0111\u00e2y g\u1ecdi l\u00e0 giao d\u1ecbch k\u00fd qu\u1ef9) l\u00e0 giao d\u1ecbch mua ch\u1ee9ng kho\u00e1n c\u00f3 s\u1eed d\u1ee5ng ti\u1ec1n vay c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n, trong \u0111\u00f3 ch\u1ee9ng kho\u00e1n c\u00f3 \u0111\u01b0\u1ee3c t\u1eeb giao d\u1ecbch n\u00e0y v\u00e0 c\u00e1c ch\u1ee9ng kho\u00e1n kh\u00e1c \u0111\u01b0\u1ee3c giao d\u1ecbch k\u00fd qu\u1ef9 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng l\u00e0m t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m cho kho\u1ea3n vay tr\u00ean.<\/p>\n

11.\u00a0Giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m<\/i>\u00a0(sau \u0111\u00e2y g\u1ecdi l\u00e0 giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m) l\u00e0 giao d\u1ecbch b\u00e1n ch\u1ee9ng kho\u00e1n \u0111\u00e3 \u0111\u01b0\u1ee3c vay tr\u00ean h\u1ec7 th\u1ed1ng vay v\u00e0 cho vay ch\u1ee9ng kho\u00e1n c\u1ee7a T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam. Ng\u01b0\u1eddi b\u00e1n sau \u0111\u00f3 c\u00f3 ngh\u0129a v\u1ee5 mua l\u1ea1i s\u1ed1 ch\u1ee9ng kho\u00e1n \u0111\u00f3 \u0111\u1ec3 ho\u00e0n tr\u1ea3 kho\u1ea3n \u0111\u00e3 vay.<\/p>\n

12.\u00a0Ch\u1ee9ng kho\u00e1n ch\u1edd v\u1ec1<\/i>\u00a0l\u00e0 ch\u1ee9ng kho\u00e1n m\u00e0 nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u00e3 mua tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00e1c ng\u00e0y giao d\u1ecbch tr\u01b0\u1edbc \u0111\u00f3 v\u00e0 \u0111ang trong qu\u00e1 tr\u00ecnh ho\u00e0n t\u1ea5t chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu.<\/p>\n

13.\u00a0Giao d\u1ecbch ch\u1ee9ng kho\u00e1n l\u00f4 l\u1ebb<\/i>\u00a0l\u00e0 giao d\u1ecbch c\u00f3 s\u1ed1 l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n nh\u1ecf h\u01a1n m\u1ed9t \u0111\u01a1n v\u1ecb giao d\u1ecbch.<\/p>\n

\u0110i\u1ec1u 3. T\u1ed5 ch\u1ee9c giao d\u1ecbch ch\u1ee9ng kho\u00e1n<\/b><\/p>\n

1. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ed5 ch\u1ee9c giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh t\u1eadp trung v\u00e0 ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch th\u1ecfa thu\u1eadn theo nguy\u00ean t\u1eafc sau:<\/p>\n

a) Ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh t\u1eadp trung tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n ph\u1ea3i b\u1ea3o \u0111\u1ea3m nguy\u00ean t\u1eafc \u01b0u ti\u00ean v\u1ec1 gi\u00e1 v\u00e0 th\u1eddi gian;<\/p>\n

b) Ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch th\u1ecfa thu\u1eadn tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo nguy\u00ean t\u1eafc c\u00e1c b\u00ean tham gia giao d\u1ecbch t\u1ef1 th\u1ecfa thu\u1eadn, th\u1ed1ng nh\u1ea5t c\u00e1c n\u1ed9i dung giao d\u1ecbch.<\/p>\n

2. Ch\u1ee9ng kho\u00e1n quy \u0111\u1ecbnh t\u1ea1i\u00a0kho\u1ea3n 1 \u0110i\u1ec1u 1 Th\u00f4ng t\u01b0 n\u00e0y\u00a0\u0111\u01b0\u1ee3c giao d\u1ecbch tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n kh\u00f4ng bao g\u1ed3m c\u00e1c tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n quy\u1ec1n s\u1edf h\u1eefu ngo\u00e0i h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c t\u1ed5 ch\u1ee9c c\u00e1c phi\u00ean giao d\u1ecbch mua b\u1eaft bu\u1ed9c (buy in) th\u00f4ng qua h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

3. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam ban h\u00e0nh quy ch\u1ebf giao d\u1ecbch ch\u1ee9ng kho\u00e1n bao g\u1ed3m c\u00e1c n\u1ed9i dung c\u01a1 b\u1ea3n sau: ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch; th\u1eddi gian giao d\u1ecbch; c\u00e1ch x\u00e1c \u0111\u1ecbnh gi\u00e1 tham chi\u1ebfu; bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1 ch\u1ee9ng kho\u00e1n; c\u01a1 ch\u1ebf ng\u1eaft m\u1ea1ch th\u1ecb tr\u01b0\u1eddng (n\u1ebfu c\u00f3); c\u00e1c lo\u1ea1i l\u1ec7nh giao d\u1ecbch; vi\u1ec7c s\u1eeda l\u1ec7nh, h\u1ee7y l\u1ec7nh giao d\u1ecbch; vi\u1ec7c x\u00e1c l\u1eadp giao d\u1ecbch v\u00e0 lo\u1ea1i b\u1ecf giao d\u1ecbch ch\u1ee9ng kho\u00e1n; vi\u1ec7c t\u1ea1m ng\u1eebng giao d\u1ecbch, \u0111\u00ecnh ch\u1ec9 m\u1ed9t ph\u1ea7n ho\u1eb7c to\u00e0n b\u1ed9 giao d\u1ecbch c\u1ee7a m\u1ed9t m\u00e3 ch\u1ee9ng kho\u00e1n; vi\u1ec7c c\u00f4ng b\u1ed1 th\u00f4ng tin v\u1ec1 k\u1ebft qu\u1ea3 giao d\u1ecbch v\u00e0 c\u00e1c n\u1ed9i dung kh\u00e1c c\u00f3 li\u00ean quan.<\/p>\n

\u0110i\u1ec1u 4. Bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1<\/b><\/p>\n

1. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam quy\u1ebft \u0111\u1ecbnh bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1 sau khi \u0111\u01b0\u1ee3c \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ch\u1ea5p thu\u1eadn.<\/p>\n

2. Trong tr\u01b0\u1eddng h\u1ee3p c\u1ea7n thi\u1ebft \u0111\u1ec3 \u1ed5n \u0111\u1ecbnh th\u1ecb tr\u01b0\u1eddng, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc quy\u1ebft \u0111\u1ecbnh \u0111i\u1ec1u ch\u1ec9nh bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1 v\u00e0 c\u00f4ng b\u1ed1 th\u00f4ng tin tr\u00ean c\u1ed5ng th\u00f4ng tin \u0111i\u1ec7n t\u1eed c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc.<\/p>\n

\u0110i\u1ec1u 5. Ng\u1eaft m\u1ea1ch th\u1ecb tr\u01b0\u1eddng<\/b><\/p>\n

1. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam quy\u1ebft \u0111\u1ecbnh c\u01a1 ch\u1ebf ng\u1eaft m\u1ea1ch th\u1ecb tr\u01b0\u1eddng sau khi \u0111\u01b0\u1ee3c \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ch\u1ea5p thu\u1eadn.<\/p>\n

2. C\u0103n c\u1ee9 \u0111i\u1ec1u ki\u1ec7n th\u1ef1c ti\u1ec5n c\u1ee7a th\u1ecb tr\u01b0\u1eddng, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc quy\u1ebft \u0111\u1ecbnh \u00e1p d\u1ee5ng c\u01a1 ch\u1ebf ng\u1eaft m\u1ea1ch th\u1ecb tr\u01b0\u1eddng ho\u1eb7c c\u01a1 ch\u1ebf ng\u1eaft m\u1ea1ch th\u1ecb tr\u01b0\u1eddng k\u1ebft h\u1ee3p v\u1edbi bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1.<\/p>\n

\u0110i\u1ec1u 6. T\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n<\/b><\/p>\n

1. Nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n l\u00e0 th\u00e0nh vi\u00ean giao d\u1ecbch \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh t\u1ea1i Th\u00f4ng t\u01b0 n\u00e0y; ch\u1ecbu tr\u00e1ch nhi\u1ec7m cung c\u1ea5p \u0111\u1ea7y \u0111\u1ee7, ch\u00ednh x\u00e1c c\u00e1c th\u00f4ng tin nh\u1eadn bi\u1ebft kh\u00e1ch h\u00e0ng khi m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u00e0 tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh sau:<\/p>\n

a) Trong th\u1eddi gian ch\u01b0a tri\u1ec3n khai ho\u1ea1t \u0111\u1ed9ng b\u00f9 tr\u1eeb, thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo c\u01a1 ch\u1ebf \u0111\u1ed1i t\u00e1c b\u00f9 tr\u1eeb trung t\u00e2m, nh\u00e0 \u0111\u1ea7u t\u01b0 th\u1ef1c hi\u1ec7n giao d\u1ecbch ch\u1ee9ng kho\u00e1n, thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u00f4ng qua t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u00e0 t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n m\u00e0 kh\u00f4ng ph\u1ea3i m\u1edf t\u00e0i kho\u1ea3n k\u00fd qu\u1ef9 b\u00f9 tr\u1eeb.<\/p>\n

b) Sau khi ho\u1ea1t \u0111\u1ed9ng b\u00f9 tr\u1eeb, thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo c\u01a1 ch\u1ebf \u0111\u1ed1i t\u00e1c b\u00f9 tr\u1eeb trung t\u00e2m \u0111\u01b0\u1ee3c tri\u1ec3n khai th\u1ef1c hi\u1ec7n, nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i c\u00f3 t\u00e0i kho\u1ea3n k\u00fd qu\u1ef9 b\u00f9 tr\u1eeb t\u1ea1i th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb tr\u01b0\u1edbc khi th\u1ef1c hi\u1ec7n giao d\u1ecbch ch\u1ee9ng kho\u00e1n. Tr\u01b0\u1eddng h\u1ee3p nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n k\u00fd qu\u1ef9 b\u00f9 tr\u1eeb t\u1ea1i th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb l\u00e0 ng\u00e2n h\u00e0ng l\u01b0u k\u00fd th\u00ec nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i th\u00e0nh vi\u00ean giao d\u1ecbch l\u00e0 th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb ho\u1eb7c t\u1ea1i th\u00e0nh vi\u00ean giao d\u1ecbch kh\u00f4ng b\u00f9 tr\u1eeb c\u00f3 h\u1ee3p \u0111\u1ed3ng \u1ee7y th\u00e1c b\u00f9 tr\u1eeb, thanh to\u00e1n v\u1edbi th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb chung l\u00e0 ng\u00e2n h\u00e0ng l\u01b0u k\u00fd n\u01a1i nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n k\u00fd qu\u1ef9 b\u00f9 tr\u1eeb.<\/p>\n

2. Nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u01b0\u1ee3c m\u1edf nhi\u1ec1u t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo nguy\u00ean t\u1eafc t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf 01 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n, ngo\u1ea1i tr\u1eeb c\u00e1c tr\u01b0\u1eddng h\u1ee3p quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 4, 5, 6, 7, 8 \u0110i\u1ec1u n\u00e0y,\u00a0\u0110i\u1ec1u 9,\u00a0\u0110i\u1ec1u 10\u00a0v\u00e0\u00a0\u0110i\u1ec1u 11 Th\u00f4ng t\u01b0 n\u00e0y.<\/p>\n

3. \u1ee8ng v\u1edbi m\u1ed7i t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n, nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf 01 t\u00e0i kho\u1ea3n k\u00fd qu\u1ef9 b\u00f9 tr\u1eeb t\u1ea1i th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb.<\/p>\n

4. C\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c m\u1edf nhi\u1ec1u t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n theo nguy\u00ean t\u1eafc:<\/p>\n

a) 01 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec3 th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng kinh doanh ch\u1ee9ng kho\u00e1n c\u1ee7a ch\u00ednh m\u00ecnh:<\/p>\n

b) 02 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec3 qu\u1ea3n l\u00fd danh m\u1ee5c \u0111\u1ea7u t\u01b0 cho nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c, trong \u0111\u00f3 01 t\u00e0i kho\u1ea3n \u0111\u1ec3 giao d\u1ecbch ch\u1ee9ng kho\u00e1n cho nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c trong n\u01b0\u1edbc, 01 t\u00e0i kho\u1ea3n \u0111\u1ec3 giao d\u1ecbch ch\u1ee9ng kho\u00e1n cho nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c n\u01b0\u1edbc ngo\u00e0i.<\/p>\n

c) M\u1ed7i qu\u1ef9 \u0111\u1ea7u t\u01b0, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n do c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 qu\u1ea3n l\u00fd \u0111\u01b0\u1ee3c m\u1edf 01 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ee9ng t\u00ean c\u1ee7a qu\u1ef9 \u0111\u1ea7u t\u01b0, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n.<\/p>\n

5. Chi nh\u00e1nh c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 n\u01b0\u1edbc ngo\u00e0i t\u1ea1i Vi\u1ec7t Nam \u0111\u01b0\u1ee3c m\u1edf 02 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n, trong \u0111\u00f3 01 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch cho ch\u00ednh m\u00ecnh v\u00e0 01 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch cho nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i \u1ee7y th\u00e1c.<\/p>\n

6. C\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo nguy\u00ean t\u1eafc sau:<\/p>\n

a) C\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 nghi\u1ec7p v\u1ee5 t\u1ef1 doanh v\u00e0 l\u00e0 th\u00e0nh vi\u00ean giao d\u1ecbch c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf 01 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ef1 doanh t\u1ea1i ch\u00ednh c\u00f4ng ty, kh\u00f4ng \u0111\u01b0\u1ee3c m\u1edf b\u1ea5t c\u1ee9 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00e1c, ngo\u1ea1i tr\u1eeb tr\u01b0\u1eddng h\u1ee3p quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m d kho\u1ea3n n\u00e0y.<\/p>\n

b) Tr\u01b0\u1eddng h\u1ee3p c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u00e3 h\u1ee7y b\u1ecf t\u01b0 c\u00e1ch th\u00e0nh vi\u00ean c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam, c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i 01 c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00e1c l\u00e0 th\u00e0nh vi\u00ean giao d\u1ecbch c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam \u0111\u1ec3 x\u1eed l\u00fd s\u1ed1 ch\u1ee9ng kho\u00e1n c\u00f2n l\u1ea1i tr\u00ean t\u00e0i kho\u1ea3n t\u1ef1 doanh.<\/p>\n

c) C\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c m\u1edf 01 t\u00e0i kho\u1ea3n giao d\u1ecbch t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch v\u00e0 01 t\u00e0i kho\u1ea3n ph\u00f2ng ng\u1eeba r\u1ee7i ro ch\u1ee9ng quy\u1ec1n c\u00f3 b\u1ea3o \u0111\u1ea3m t\u1ea1i ch\u00ednh c\u00f4ng ty \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch cho c\u00e1c nghi\u1ec7p v\u1ee5 n\u00e0y.<\/p>\n

d) C\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00f4ng ph\u1ea3i l\u00e0 th\u00e0nh vi\u00ean l\u1eadp qu\u1ef9 ho\u00e1n \u0111\u1ed5i danh m\u1ee5c \u0111\u01b0\u1ee3c m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i th\u00e0nh vi\u00ean l\u1eadp qu\u1ef9 ho\u00e1n \u0111\u1ed5i danh m\u1ee5c. T\u00e0i kho\u1ea3n n\u00e0y \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch ho\u00e1n \u0111\u1ed5i ch\u1ee9ng ch\u1ec9 qu\u1ef9 ho\u00e1n \u0111\u1ed5i danh m\u1ee5c tr\u00ean th\u1ecb tr\u01b0\u1eddng s\u01a1 c\u1ea5p, giao d\u1ecbch b\u00e1n tr\u00ean th\u1ecb tr\u01b0\u1eddng th\u1ee9 c\u1ea5p \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n c\u01a1 c\u1ea5u v\u00e0 ch\u1ee9ng ch\u1ec9 qu\u1ef9 ho\u00e1n \u0111\u1ed5i danh m\u1ee5c c\u00f3 \u0111\u01b0\u1ee3c t\u1eeb giao d\u1ecbch ho\u00e1n \u0111\u1ed5i, giao d\u1ecbch mua ch\u1ee9ng kho\u00e1n c\u01a1 c\u1ea5u v\u00e0 ch\u1ee9ng ch\u1ec9 qu\u1ef9 ho\u00e1n \u0111\u1ed5i danh m\u1ee5c tr\u00ean th\u1ecb tr\u01b0\u1eddng th\u1ee9 c\u1ea5p \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch ho\u00e1n \u0111\u1ed5i, kh\u00f4ng d\u00f9ng \u0111\u1ec3 th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch ch\u1ee9ng kho\u00e1n kh\u00e1c.<\/p>\n

\u0111) C\u00e1c t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n kh\u00e1c theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt li\u00ean quan.<\/p>\n

7. T\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n n\u01b0\u1edbc ngo\u00e0i \u0111\u01b0\u1ee3c m\u1edf 02 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n nh\u01b0 sau:<\/p>\n

a) 01 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec3 th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng t\u1ef1 doanh.<\/p>\n

b) 01 t\u00e0i kho\u1ea3n giao d\u1ecbch m\u00f4i gi\u1edbi \u0111\u1ec3 th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng m\u00f4i gi\u1edbi cho c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i kh\u00e1c.<\/p>\n

8. Doanh nghi\u1ec7p b\u1ea3o hi\u1ec3m \u0111\u01b0\u1ee3c m\u1edf 02 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n nh\u01b0 sau:<\/p>\n

a) 01 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec3 giao d\u1ecbch t\u1eeb ngu\u1ed3n v\u1ed1n ch\u1ee7 s\u1edf h\u1eefu. Tr\u01b0\u1eddng h\u1ee3p doanh nghi\u1ec7p b\u1ea3o hi\u1ec3m c\u00f3 nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i s\u1edf h\u1eefu tr\u00ean 50% v\u1ed1n \u0111i\u1ec1u l\u1ec7, giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean t\u00e0i kho\u1ea3n n\u00e0y ch\u1ecbu s\u1ef1 \u0111i\u1ec1u ch\u1ec9nh b\u1edfi quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/p>\n

b) 01 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec3 giao d\u1ecbch t\u1eeb ngu\u1ed3n thu ph\u00ed b\u1ea3o hi\u1ec3m trong n\u01b0\u1edbc c\u1ee7a c\u00e1c qu\u1ef9 ch\u1ee7 h\u1ee3p \u0111\u1ed3ng b\u1ea3o hi\u1ec3m theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 kinh doanh b\u1ea3o hi\u1ec3m. Giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean t\u00e0i kho\u1ea3n n\u00e0y kh\u00f4ng ch\u1ecbu s\u1ef1 \u0111i\u1ec1u ch\u1ec9nh b\u1edfi quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 s\u1edf h\u1eefu n\u01b0\u1edbc ngo\u00e0i tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/p>\n

9. C\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng l\u1ea1i c\u00e1c m\u00e3 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u00e3 \u0111\u00f3ng \u0111\u1ec3 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n cho kh\u00e1ch h\u00e0ng m\u1edbi.<\/p>\n

\u0110i\u1ec1u 7. Giao d\u1ecbch ch\u1ee9ng kho\u00e1n<\/b><\/p>\n

1. Trong th\u1eddi gian ch\u01b0a tri\u1ec3n khai ho\u1ea1t \u0111\u1ed9ng b\u00f9 tr\u1eeb, thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo c\u01a1 ch\u1ebf \u0111\u1ed1i t\u00e1c b\u00f9 tr\u1eeb trung t\u00e2m, giao d\u1ecbch mua ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n nh\u01b0 sau:<\/p>\n

a) Nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c \u0111\u1eb7t l\u1ec7nh mua ch\u1ee9ng kho\u00e1n khi c\u00f3 \u0111\u1ee7 ti\u1ec1n tr\u00ean t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n, ngo\u1ea1i tr\u1eeb giao d\u1ecbch k\u00fd qu\u1ef9 theo quy \u0111\u1ecbnh t\u1ea1i\u00a0\u0110i\u1ec1u 9 Th\u00f4ng t\u01b0 n\u00e0y.\u00a0Tr\u01b0\u1eddng h\u1ee3p nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i ng\u00e2n h\u00e0ng l\u01b0u k\u00fd v\u00e0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n, nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u01b0\u1ee3c \u0111\u1eb7t l\u1ec7nh mua ch\u1ee9ng kho\u00e1n v\u00e0 c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n l\u1ec7nh mua ch\u1ee9ng kho\u00e1n khi c\u00f3 b\u1ea3o l\u00e3nh thanh to\u00e1n ho\u1eb7c x\u00e1c nh\u1eadn c\u1ee7a ng\u00e2n h\u00e0ng l\u01b0u k\u00fd v\u1ec1 vi\u1ec7c ng\u00e2n h\u00e0ng l\u01b0u k\u00fd ch\u1ea5p nh\u1eadn y\u00eau c\u1ea7u thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0.<\/p>\n

b) C\u00f4ng ty ch\u1ee9ng kho\u00e1n ch\u1ecbu tr\u00e1ch nhi\u1ec7m theo d\u00f5i s\u1ed1 d\u01b0 ch\u1ee9ng kho\u00e1n, s\u1ed1 d\u01b0 ti\u1ec1n (ngo\u1ea1i tr\u1eeb tr\u01b0\u1eddng h\u1ee3p nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd t\u1ea1i ng\u00e2n h\u00e0ng l\u01b0u k\u00fd), ki\u1ec3m tra t\u00ednh h\u1ee3p l\u1ec7, h\u1ee3p ph\u00e1p c\u00e1c l\u1ec7nh giao d\u1ecbch c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0.<\/p>\n

2. Sau khi ho\u1ea1t \u0111\u1ed9ng b\u00f9 tr\u1eeb, thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo c\u01a1 ch\u1ebf \u0111\u1ed1i t\u00e1c b\u00f9 tr\u1eeb trung t\u00e2m \u0111\u01b0\u1ee3c tri\u1ec3n khai, giao d\u1ecbch mua ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n nh\u01b0 sau:<\/p>\n

a) Nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u1eb7t l\u1ec7nh mua ch\u1ee9ng kho\u00e1n ph\u1ea3i c\u00f3 \u0111\u1ee7 t\u00e0i s\u1ea3n k\u00fd qu\u1ef9 b\u00f9 tr\u1eeb t\u1ea1i th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

b) C\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u01a1i nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ec9 \u0111\u01b0\u1ee3c nh\u1eadp l\u1ec7nh v\u00e0o h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n khi nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u00e3 \u0111\u00e1p \u1ee9ng y\u00eau c\u1ea7u v\u1ec1 k\u00fd qu\u1ef9 b\u00f9 tr\u1eeb theo quy \u0111\u1ecbnh v\u00e0 y\u00eau c\u1ea7u c\u1ee7a th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb. Tr\u01b0\u1eddng h\u1ee3p nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch, t\u00e0i kho\u1ea3n k\u00fd qu\u1ef9 b\u00f9 tr\u1eeb t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n v\u00e0 m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd t\u1ea1i ng\u00e2n h\u00e0ng l\u01b0u k\u00fd, c\u00f4ng ty ch\u1ee9ng kho\u00e1n nh\u1eadp l\u1ec7nh v\u00e0o h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n khi c\u00f3 b\u1ea3o l\u00e3nh ho\u1eb7c x\u00e1c nh\u1eadn c\u1ee7a ng\u00e2n h\u00e0ng l\u01b0u k\u00fd v\u1ec1 vi\u1ec7c \u0111\u00e1p \u1ee9ng y\u00eau c\u1ea7u k\u00fd qu\u1ef9 b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 tr\u00ean c\u01a1 s\u1edf th\u1ecfa thu\u1eadn gi\u1eefa c\u00f4ng ty ch\u1ee9ng kho\u00e1n v\u00e0 ng\u00e2n h\u00e0ng l\u01b0u k\u00fd.<\/p>\n

c) Vi\u1ec7c theo d\u00f5i, x\u00e1c nh\u1eadn s\u1ed1 d\u01b0 ch\u1ee9ng kho\u00e1n, s\u1ed1 d\u01b0 ti\u1ec1n tr\u01b0\u1edbc khi giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt b\u00f9 tr\u1eeb, thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

3. Nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c \u0111\u1eb7t l\u1ec7nh b\u00e1n \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ph\u00e9p giao d\u1ecbch \u0111\u00e3 c\u00f3 s\u1eb5n tr\u00ean t\u00e0i kho\u1ea3n l\u01b0u k\u00fd c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 t\u1ea1i ng\u00e0y giao d\u1ecbch, ngo\u1ea1i tr\u1eeb c\u00e1c tr\u01b0\u1eddng h\u1ee3p: th\u00e0nh vi\u00ean l\u1eadp qu\u1ef9 ho\u00e1n \u0111\u1ed5i danh m\u1ee5c \u0111\u01b0\u1ee3c b\u00e1n ch\u1ee9ng ch\u1ec9 qu\u1ef9 ho\u00e1n \u0111\u1ed5i danh m\u1ee5c, b\u00e1n ch\u1ee9ng kho\u00e1n c\u01a1 c\u1ea5u khi b\u1ea3o \u0111\u1ea3m c\u00f3 \u0111\u1ee7 ch\u1ee9ng ch\u1ec9 qu\u1ef9 ho\u00e1n \u0111\u1ed5i danh m\u1ee5c, ch\u1ee9ng kho\u00e1n c\u01a1 c\u1ea5u \u0111\u1ec3 chuy\u1ec3n giao tr\u01b0\u1edbc th\u1eddi h\u1ea1n thanh to\u00e1n theo quy ch\u1ebf c\u1ee7a T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam; giao d\u1ecbch trong ng\u00e0y theo quy \u0111\u1ecbnh t\u1ea1i\u00a0\u0110i\u1ec1u 10 Th\u00f4ng t\u01b0 n\u00e0y; b\u00e1n ch\u1ee9ng kho\u00e1n ch\u1edd v\u1ec1.<\/p>\n

T\u00f9y v\u00e0o t\u00ecnh h\u00ecnh th\u1ecb tr\u01b0\u1eddng, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc tri\u1ec3n khai ho\u1ea1t \u0111\u1ed9ng b\u00e1n ch\u1ee9ng kho\u00e1n ch\u1edd v\u1ec1.<\/p>\n

4. Nh\u00e0 \u0111\u1ea7u t\u01b0 kh\u00f4ng \u0111\u01b0\u1ee3c \u0111\u1eb7t c\u00e1c l\u1ec7nh giao d\u1ecbch c\u00f9ng mua, c\u00f9ng b\u00e1n \u0111\u1ed3ng th\u1eddi c\u00f9ng m\u1ed9t m\u00e3 ch\u1ee9ng kho\u00e1n trong c\u00f9ng m\u1ed9t \u0111\u1ee3t kh\u1edbp l\u1ec7nh \u0111\u1ecbnh k\u1ef3, tr\u1eeb c\u00e1c l\u1ec7nh \u0111\u00e3 \u0111\u01b0\u1ee3c nh\u1eadp v\u00e0o h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ea1i \u0111\u1ee3t giao d\u1ecbch tr\u01b0\u1edbc \u0111\u00f3, ch\u01b0a \u0111\u01b0\u1ee3c kh\u1edbp nh\u01b0ng v\u1eabn c\u00f2n hi\u1ec7u l\u1ef1c.<\/p>\n

5. C\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 tr\u00e1ch nhi\u1ec7m ki\u1ec3m so\u00e1t vi\u1ec7c \u0111\u1eb7t l\u1ec7nh c\u00f9ng mua, c\u00f9ng b\u00e1n trong c\u00f9ng m\u1ed9t \u0111\u1ee3t giao d\u1ecbch kh\u1edbp l\u1ec7nh \u0111\u1ecbnh k\u1ef3 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 tr\u00ean t\u00e0i kho\u1ea3n giao d\u1ecbch m\u1edf t\u1ea1i c\u00f4ng ty m\u00ecnh.<\/p>\n

6. T\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n n\u01b0\u1edbc ngo\u00e0i \u0111\u01b0\u1ee3c ph\u00e9p s\u1eed d\u1ee5ng t\u00e0i kho\u1ea3n giao d\u1ecbch m\u00f4i gi\u1edbi quy \u0111\u1ecbnh t\u1ea1i\u00a0\u0111i\u1ec3m b kho\u1ea3n 7 \u0110i\u1ec1u 6 Th\u00f4ng t\u01b0 n\u00e0y\u00a0\u0111\u1ec3 v\u1eeba \u0111\u1eb7t l\u1ec7nh mua v\u00e0 l\u1ec7nh b\u00e1n c\u00f9ng m\u1ed9t m\u00e3 ch\u1ee9ng kho\u00e1n trong t\u1eebng \u0111\u1ee3t kh\u1edbp l\u1ec7nh (\u0111\u1ecbnh k\u1ef3 ho\u1eb7c li\u00ean l\u1ee5c) ho\u1eb7c giao d\u1ecbch th\u1ecfa thu\u1eadn, nh\u01b0ng ph\u1ea3i \u0111\u1ea3m b\u1ea3o nguy\u00ean t\u1eafc l\u1ec7nh mua v\u00e0 l\u1ec7nh b\u00e1n ch\u1ee9ng kho\u00e1n kh\u00f4ng ph\u1ea3i c\u1ee7a c\u00f9ng m\u1ed9t nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i.<\/p>\n

\u0110i\u1ec1u 8. C\u00f4ng ty \u0111\u1ea1i ch\u00fang giao d\u1ecbch c\u1ed5 phi\u1ebfu c\u1ee7a ch\u00ednh m\u00ecnh<\/b><\/p>\n

1. C\u00f4ng ty \u0111\u1ea1i ch\u00fang mua l\u1ea1i c\u1ed5 phi\u1ebfu c\u1ee7a ch\u00ednh m\u00ecnh tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n ph\u1ea3i tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh sau \u0111\u00e2y:<\/p>\n

a) C\u00f4ng ty \u0111\u1ea1i ch\u00fang ph\u1ea3i th\u1ef1c hi\u1ec7n giao d\u1ecbch mua l\u1ea1i c\u1ed5 phi\u1ebfu c\u1ee7a ch\u00ednh m\u00ecnh theo \u0111\u00fang n\u1ed9i dung \u0111\u00e3 c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh t\u1ea1i\u00a0kho\u1ea3n 4 \u0110i\u1ec1u 37 Lu\u1eadt Ch\u1ee9ng kho\u00e1n.<\/p>\n

b) Nguy\u00ean t\u1eafc x\u00e1c \u0111\u1ecbnh gi\u00e1 \u0111\u1eb7t mua l\u1ea1i c\u1ed5 phi\u1ebfu c\u1ee7a ch\u00ednh m\u00ecnh c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang theo ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh ho\u1eb7c th\u1ecfa thu\u1eadn \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh nh\u01b0 sau:<\/p>\n

– Gi\u00e1 \u0111\u1eb7t mua \u2264 Gi\u00e1 tham chi\u1ebfu + (Gi\u00e1 tham chi\u1ebfu x 50% Bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1 c\u1ed5 phi\u1ebfu).<\/p>\n

– Kh\u1ed1i l\u01b0\u1ee3ng \u0111\u1eb7t mua: Trong m\u1ed7i ng\u00e0y giao d\u1ecbch, t\u1ed5ng kh\u1ed1i l\u01b0\u1ee3ng \u0111\u1eb7t mua t\u1ed1i thi\u1ec3u l\u00e0 3% v\u00e0 t\u1ed1i \u0111a l\u00e0 10% kh\u1ed1i l\u01b0\u1ee3ng giao d\u1ecbch \u0111\u00e3 \u0111\u0103ng k\u00fd v\u1edbi \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (kh\u1ed1i l\u01b0\u1ee3ng \u0111\u1eb7t mua kh\u00f4ng bao g\u1ed3m kh\u1ed1i l\u01b0\u1ee3ng h\u1ee7y l\u1ec7nh v\u00e0 quy \u0111\u1ecbnh n\u00e0y \u0111\u01b0\u1ee3c mi\u1ec5n tr\u1eeb khi kh\u1ed1i l\u01b0\u1ee3ng mua c\u00f2n l\u1ea1i \u00edt h\u01a1n 3%).<\/p>\n

Quy \u0111\u1ecbnh n\u00e0y \u00e1p d\u1ee5ng cho t\u1edbi khi c\u00f4ng ty \u0111\u1ea1i ch\u00fang ho\u00e0n t\u1ea5t giao d\u1ecbch mua l\u1ea1i c\u1ed5 phi\u1ebfu c\u1ee7a ch\u00ednh m\u00ecnh v\u1edbi kh\u1ed1i l\u01b0\u1ee3ng \u0111\u00e3 \u0111\u0103ng k\u00fd v\u1edbi \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc.<\/p>\n

2. C\u00f4ng ty \u0111\u1ea1i ch\u00fang mua l\u1ea1i c\u1ed5 phi\u1ebfu c\u1ee7a ch\u00ednh m\u00ecnh \u0111\u01b0\u1ee3c b\u00e1n ra c\u1ed5 phi\u1ebfu sau khi mua l\u1ea1i theo quy \u0111\u1ecbnh t\u1ea1i\u00a0kho\u1ea3n 7 \u0110i\u1ec1u 36 Lu\u1eadt Ch\u1ee9ng kho\u00e1n.\u00a0Vi\u1ec7c b\u00e1n ra c\u1ed5 phi\u1ebfu th\u1ef1c hi\u1ec7n tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo quy ch\u1ebf giao d\u1ecbch c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam ho\u1eb7c ngo\u00e0i h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n

3. Ngo\u1ea1i tr\u1eeb tr\u01b0\u1eddng h\u1ee3p quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y, c\u00f4ng ty \u0111\u1ea1i ch\u00fang mua l\u1ea1i c\u1ed5 phi\u1ebfu c\u1ee7a ch\u00ednh m\u00ecnh tr\u01b0\u1edbc ng\u00e0y 01\/01\/2021 b\u00e1n ra c\u1ed5 phi\u1ebfu \u0111\u00e3 mua l\u1ea1i theo ph\u01b0\u01a1ng th\u1ee9c kh\u1edbp l\u1ec7nh ho\u1eb7c th\u1ecfa thu\u1eadn nh\u01b0 sau:<\/p>\n

– Gi\u00e1 \u0111\u1eb7t b\u00e1n \u2265 Gi\u00e1 tham chi\u1ebfu – (Gi\u00e1 tham chi\u1ebfu x 50% Bi\u00ean \u0111\u1ed9 dao \u0111\u1ed9ng gi\u00e1 c\u1ed5 phi\u1ebfu).<\/p>\n

– Kh\u1ed1i l\u01b0\u1ee3ng \u0111\u1eb7t b\u00e1n: trong m\u1ed7i ng\u00e0y giao d\u1ecbch, t\u1ed5ng kh\u1ed1i l\u01b0\u1ee3ng \u0111\u1eb7t b\u00e1n t\u1ed1i thi\u1ec3u t\u1eeb 3% v\u00e0 t\u1ed1i \u0111a l\u00e0 10% kh\u1ed1i l\u01b0\u1ee3ng giao d\u1ecbch \u0111\u00e3 \u0111\u0103ng k\u00fd v\u1edbi \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (kh\u1ed1i l\u01b0\u1ee3ng \u0111\u1eb7t b\u00e1n kh\u00f4ng bao g\u1ed3m kh\u1ed1i l\u01b0\u1ee3ng h\u1ee7y l\u1ec7nh v\u00e0 quy \u0111\u1ecbnh n\u00e0y \u0111\u01b0\u1ee3c mi\u1ec5n tr\u1eeb khi kh\u1ed1i l\u01b0\u1ee3ng b\u00e1n c\u00f2n l\u1ea1i \u00edt h\u01a1n 3%).<\/p>\n

\u0110i\u1ec1u 9. Giao d\u1ecbch k\u00fd qu\u1ef9<\/b><\/p>\n

1. Nh\u00e0 \u0111\u1ea7u t\u01b0 tr\u01b0\u1edbc khi th\u1ef1c hi\u1ec7n giao d\u1ecbch k\u00fd qu\u1ef9 ph\u1ea3i k\u00fd h\u1ee3p \u0111\u1ed3ng giao d\u1ecbch k\u00fd qu\u1ef9 v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ph\u00e9p cung c\u1ea5p d\u1ecbch v\u1ee5 cho kh\u00e1ch h\u00e0ng vay ti\u1ec1n mua ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt. H\u1ee3p \u0111\u1ed3ng giao d\u1ecbch k\u00fd qu\u1ef9 \u0111\u1ed3ng th\u1eddi l\u00e0 h\u1ee3p \u0111\u1ed3ng cho c\u00e1c kho\u1ea3n vay tr\u00ean t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9. H\u1ee3p \u0111\u1ed3ng giao d\u1ecbch k\u00fd qu\u1ef9 t\u1ed1i thi\u1ec3u ph\u1ea3i bao g\u1ed3m n\u1ed9i dung v\u1ec1 t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m cho giao d\u1ecbch k\u00fd qu\u00fd, th\u1eddi h\u1ea1n b\u1ed5 sung k\u00fd qu\u1ef9, x\u1eed l\u00fd t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m cho giao d\u1ecbch k\u00fd qu\u1ef9 khi nh\u00e0 \u0111\u1ea7u t\u01b0 kh\u00f4ng b\u1ed5 sung k\u00fd qu\u1ef9; ph\u01b0\u01a1ng th\u1ee9c gi\u1ea3i quy\u1ebft khi c\u00f3 tranh ch\u1ea5p ph\u00e1t sinh; n\u00eau r\u00f5 c\u00e1c r\u1ee7i ro, thi\u1ec7t h\u1ea1i c\u00f3 th\u1ec3 ph\u00e1t sinh v\u00e0 chi ph\u00ed kh\u00e1ch h\u00e0ng ph\u1ea3i thanh to\u00e1n.<\/p>\n

2. Nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i kh\u00f4ng \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n giao d\u1ecbch k\u00fd qu\u1ef9.<\/p>\n

3. T\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u01a1i nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n, nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf 01 t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9. T\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9 l\u00e0 t\u00e0i kho\u1ea3n ri\u00eang bi\u1ec7t ho\u1eb7c \u0111\u01b0\u1ee3c qu\u1ea3n l\u00fd ri\u00eang bi\u1ec7t ho\u1eb7c \u0111\u01b0\u1ee3c h\u1ea1ch to\u00e1n d\u01b0\u1edbi h\u00ecnh th\u1ee9c ti\u1ec3u kho\u1ea3n c\u1ee7a t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n hi\u1ec7n c\u00f3 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0. C\u00f4ng ty ch\u1ee9ng kho\u00e1n ph\u1ea3i h\u1ea1ch to\u00e1n t\u00e1ch bi\u1ec7t t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9 v\u1edbi t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u00f4ng th\u01b0\u1eddng c\u1ee7a t\u1eebng nh\u00e0 \u0111\u1ea7u t\u01b0, t\u00e1ch bi\u1ec7t t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9 v\u00e0 t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u00f4ng th\u01b0\u1eddng gi\u1eefa c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0.<\/p>\n

4. Ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c giao d\u1ecbch k\u00fd qu\u1ef9 l\u00e0 c\u1ed5 phi\u1ebfu ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch, ch\u1ee9ng ch\u1ec9 qu\u1ef9 ni\u00eam y\u1ebft tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u00e0 \u0111\u00e1p \u1ee9ng c\u00e1c ti\u00eau ch\u00ed c\u01a1 b\u1ea3n sau: th\u1eddi gian ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch; quy m\u00f4 v\u1ed1n v\u00e0 k\u1ebft qu\u1ea3 ho\u1ea1t \u0111\u1ed9ng kinh doanh c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh; t\u00ednh thanh kho\u1ea3n v\u00e0 bi\u1ebfn \u0111\u1ed9ng gi\u00e1 (n\u1ebfu c\u00f3); minh b\u1ea1ch th\u00f4ng tin v\u00e0 c\u00e1c ti\u00eau ch\u00ed kh\u00e1c theo quy ch\u1ebf c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u00f4ng b\u1ed1 danh s\u00e1ch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c giao d\u1ecbch k\u00fd qu\u1ef9 ho\u1eb7c ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u01b0\u1ee3c giao d\u1ecbch k\u00fd qu\u1ef9 tr\u00ean c\u01a1 s\u1edf ti\u00eau ch\u00ed do \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc quy \u0111\u1ecbnh.<\/p>\n

5. Tr\u00ean c\u01a1 s\u1edf danh s\u00e1ch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c giao d\u1ecbch k\u00fd qu\u1ef9 ho\u1eb7c ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u01b0\u1ee3c giao d\u1ecbch k\u00fd qu\u1ef9 do S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u00f4ng b\u1ed1, c\u00f4ng ty ch\u1ee9ng kho\u00e1n l\u1ef1a ch\u1ecdn danh s\u00e1ch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n giao d\u1ecbch k\u00fd qu\u1ef9 t\u1ea1i c\u00f4ng ty v\u00e0 th\u1ef1c hi\u1ec7n c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt.<\/p>\n

6. Nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 ngh\u0129a v\u1ee5 \u0111\u1ea3m b\u1ea3o t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 ban \u0111\u1ea7u, t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 duy tr\u00ec theo h\u1ee3p \u0111\u1ed3ng \u0111\u00e3 k\u00fd v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n. Khi t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 tr\u00ean t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 gi\u1ea3m xu\u1ed1ng th\u1ea5p h\u01a1n t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 duy tr\u00ec, c\u00f4ng ty ch\u1ee9ng kho\u00e1n ph\u00e1t h\u00e0nh l\u1ec7nh g\u1ecdi k\u00fd qu\u1ef9 b\u1ed5 sung. Ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u01b0\u1ee3c ph\u00e9p giao d\u1ecbch k\u00fd qu\u1ef9 kh\u00f4ng \u0111\u01b0\u1ee3c t\u00ednh v\u00e0o t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m khi x\u00e1c \u0111\u1ecbnh t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 ban \u0111\u1ea7u v\u00e0 t\u1ef7 l\u1ec7 k\u00fd qu\u1ef9 duy tr\u00ec cho giao d\u1ecbch k\u00fd qu\u1ef9. Tr\u01b0\u1eddng h\u1ee3p nh\u00e0 \u0111\u1ea7u t\u01b0 kh\u00f4ng th\u1ef1c hi\u1ec7n k\u00fd qu\u1ef9 b\u1ed5 sung, c\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 quy\u1ec1n b\u00e1n ch\u1ee9ng kho\u00e1n l\u00e0 t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m theo \u0111i\u1ec1u kho\u1ea3n t\u1ea1i h\u1ee3p \u0111\u1ed3ng m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9. Tr\u01b0\u1edbc khi th\u1ef1c hi\u1ec7n b\u00e1n ch\u1ee9ng kho\u00e1n l\u00e0 t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m, c\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u00e0 th\u00f4ng b\u00e1o k\u1ebft qu\u1ea3 giao d\u1ecbch b\u00e1n ch\u1ee9ng kho\u00e1n l\u00e0 t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m cho nh\u00e0 \u0111\u1ea7u t\u01b0 bi\u1ebft \u0111\u1ec3 th\u1ef1c hi\u1ec7n ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o s\u1edf h\u1eefu, c\u00f4ng b\u1ed1 th\u00f4ng tin v\u1ec1 giao d\u1ecbch theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt (n\u1ebfu c\u00f3).<\/p>\n

7. C\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00f4ng c\u00f2n \u0111\u00e1p \u1ee9ng \u0111i\u1ec1u ki\u1ec7n \u0111\u01b0\u1ee3c cung c\u1ea5p d\u1ecbch v\u1ee5 cho kh\u00e1ch h\u00e0ng vay ti\u1ec1n mua ch\u1ee9ng kho\u00e1n ph\u1ea3i ng\u1eebng ngay vi\u1ec7c k\u00fd m\u1edbi, gia h\u1ea1n h\u1ee3p \u0111\u1ed3ng m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9, ng\u1eebng cho vay v\u1ed1n \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch k\u00fd qu\u1ef9 v\u00e0 b\u00e1o c\u00e1o b\u1eb1ng v\u0103n b\u1ea3n cho \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc trong v\u00f2ng 48 gi\u1edd k\u1ec3 t\u1eeb khi x\u1ea3y ra s\u1ef1 ki\u1ec7n tr\u00ean.<\/p>\n

8. \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ban h\u00e0nh quy ch\u1ebf h\u01b0\u1edbng d\u1eabn ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch k\u00fd qu\u1ef9 t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n.<\/p>\n

9. Trong tr\u01b0\u1eddng h\u1ee3p c\u1ea7n thi\u1ebft \u0111\u1ec3 \u1ed5n \u0111\u1ecbnh th\u1ecb tr\u01b0\u1eddng, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00f3 quy\u1ec1n y\u00eau c\u1ea7u t\u1ea1m ng\u1eebng giao d\u1ecbch k\u00fd qu\u1ef9 t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n.B\u1ed5\u00a0sung<\/p>\n

\u0110i\u1ec1u 10. Giao d\u1ecbch trong ng\u00e0y<\/b><\/p>\n

1. Nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch trong ng\u00e0y sau khi \u0111\u00e3 k\u00fd h\u1ee3p \u0111\u1ed3ng giao d\u1ecbch trong ng\u00e0y v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c cung c\u1ea5p d\u1ecbch v\u1ee5 cho vay ch\u1ee9ng kho\u00e1n. H\u1ee3p \u0111\u1ed3ng giao d\u1ecbch trong ng\u00e0y ph\u1ea3i c\u00f3 \u0111i\u1ec1u kho\u1ea3n cho ph\u00e9p c\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch vay, giao d\u1ecbch mua b\u1eaft bu\u1ed9c \u0111\u1ec3 h\u1ed7 tr\u1ee3 thanh to\u00e1n trong tr\u01b0\u1eddng h\u1ee3p ph\u00e1t sinh thi\u1ebfu h\u1ee5t ch\u1ee9ng kho\u00e1n \u0111\u1ec3 chuy\u1ec3n giao theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt b\u00f9 tr\u1eeb, thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n. H\u1ee3p \u0111\u1ed3ng giao d\u1ecbch trong ng\u00e0y ph\u1ea3i n\u00eau r\u00f5 c\u00e1c r\u1ee7i ro ph\u00e1t sinh, thi\u1ec7t h\u1ea1i v\u00e0 chi ph\u00ed ph\u00e1t sinh m\u00e0 nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i thanh to\u00e1n.<\/p>\n

2. Ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch trong ng\u00e0y ph\u1ea3i b\u1ea3o \u0111\u1ea3m tu\u00e2n th\u1ee7 c\u00e1c nguy\u00ean t\u1eafc sau:<\/p>\n

a) T\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u01a1i nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n, nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c m\u1edf 01 t\u00e0i kho\u1ea3n giao d\u1ecbch trong ng\u00e0y. T\u00e0i kho\u1ea3n giao d\u1ecbch trong ng\u00e0y l\u00e0 t\u00e0i kho\u1ea3n ri\u00eang bi\u1ec7t ho\u1eb7c \u0111\u01b0\u1ee3c qu\u1ea3n l\u00fd ri\u00eang bi\u1ec7t ho\u1eb7c \u0111\u01b0\u1ee3c h\u1ea1ch to\u00e1n d\u01b0\u1edbi h\u00ecnh th\u1ee9c ti\u1ec3u kho\u1ea3n c\u1ee7a t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n hi\u1ec7n c\u00f3 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0. C\u00f4ng ty ch\u1ee9ng kho\u00e1n ph\u1ea3i h\u1ea1ch to\u00e1n t\u00e1ch bi\u1ec7t t\u00e0i kho\u1ea3n giao d\u1ecbch trong ng\u00e0y v\u1edbi t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u00f4ng th\u01b0\u1eddng v\u00e0 t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9 (n\u1ebfu c\u00f3) c\u1ee7a t\u1eebng nh\u00e0 \u0111\u1ea7u t\u01b0;<\/p>\n

b) Nh\u00e0 \u0111\u1ea7u t\u01b0 th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch trong ng\u00e0y ph\u1ea3i tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh t\u1ea1i\u00a0kho\u1ea3n 4 \u0110i\u1ec1u 7 Th\u00f4ng t\u01b0 n\u00e0y, kh\u00f4ng \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch trong ng\u00e0y \u0111\u1ed1i v\u1edbi giao d\u1ecbch ch\u1ee9ng kho\u00e1n l\u00f4 l\u1ebb v\u00e0 giao d\u1ecbch th\u1ecfa thu\u1eadn;<\/p>\n

c) C\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 quy\u1ec1n l\u1ef1a ch\u1ecdn m\u00e3 ch\u1ee9ng kho\u00e1n c\u00f3 trong danh s\u00e1ch ch\u1ee9ng kho\u00e1n ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch \u0111\u01b0\u1ee3c ph\u00e9p giao d\u1ecbch k\u00fd qu\u1ef9 t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch trong ng\u00e0y cho nh\u00e0 \u0111\u1ea7u t\u01b0. Danh s\u00e1ch c\u00e1c ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c giao d\u1ecbch trong ng\u00e0y ph\u1ea3i \u0111\u01b0\u1ee3c c\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f4ng khai tr\u00ean trang th\u00f4ng tin \u0111i\u1ec7n t\u1eed c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n;<\/p>\n

d) Nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 tr\u00e1ch nhi\u1ec7m \u0111\u1eb7t c\u00e1c l\u1ec7nh giao d\u1ecbch, b\u1ea3o \u0111\u1ea3m t\u1ed5ng s\u1ed1 ch\u1ee9ng kho\u00e1n tr\u00ean c\u00e1c l\u1ec7nh b\u00e1n ph\u1ea3i b\u1eb1ng v\u1edbi t\u1ed5ng s\u1ed1 ch\u1ee9ng kho\u00e1n c\u00f9ng m\u00e3 tr\u00ean c\u00e1c l\u1ec7nh mua trong c\u00f9ng ng\u00e0y giao d\u1ecbch v\u00e0 ng\u01b0\u1ee3c l\u1ea1i. Tr\u01b0\u1eddng h\u1ee3p t\u1ed5ng s\u1ed1 ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00e1c l\u1ec7nh b\u00e1n \u0111\u00e3 th\u1ef1c hi\u1ec7n nhi\u1ec1u h\u01a1n t\u1ed5ng s\u1ed1 ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00e1c l\u1ec7nh mua \u0111\u00e3 th\u1ef1c hi\u1ec7n ho\u1eb7c ng\u01b0\u1ee3c l\u1ea1i th\u00ec c\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 tr\u00e1ch nhi\u1ec7m thanh to\u00e1n thay cho nh\u00e0 \u0111\u1ea7u t\u01b0 s\u1ed1 ti\u1ec1n ho\u1eb7c ch\u1ee9ng kho\u00e1n thi\u1ebfu h\u1ee5t t\u1ea1i ng\u00e0y thanh to\u00e1n;<\/p>\n

\u0111) C\u00f4ng ty ch\u1ee9ng kho\u00e1n ph\u1ea3i t\u1eeb ch\u1ed1i th\u1ef1c hi\u1ec7n l\u1ec7nh giao d\u1ecbch trong ng\u00e0y c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 khi kh\u00f4ng th\u1ec3 b\u1ea3o \u0111\u1ea3m c\u00f3 \u0111\u1ee7 ti\u1ec1n \u0111\u1ec3 thanh to\u00e1n v\u00e0 ch\u1ee9ng kho\u00e1n \u0111\u1ec3 chuy\u1ec3n giao t\u1ea1i ng\u00e0y thanh to\u00e1n;<\/p>\n

e) Nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 tr\u00e1ch nhi\u1ec7m b\u1ed3i th\u01b0\u1eddng thi\u1ec7t h\u1ea1i, thanh to\u00e1n cho c\u00f4ng ty ch\u1ee9ng kho\u00e1n m\u1ecdi chi ph\u00ed ph\u00e1t sinh li\u00ean quan t\u1edbi ho\u1ea1t \u0111\u1ed9ng mua b\u1eaft bu\u1ed9c, vay ch\u1ee9ng kho\u00e1n, vay ti\u1ec1n \u0111\u1ec3 h\u1ed7 tr\u1ee3 thanh to\u00e1n trong tr\u01b0\u1eddng h\u1ee3p kh\u00f4ng c\u00f3 \u0111\u1ee7 ti\u1ec1n \u0111\u1ec3 thanh to\u00e1n, kh\u00f4ng c\u00f3 \u0111\u1ee7 ch\u1ee9ng kho\u00e1n \u0111\u1ec3 chuy\u1ec3n giao t\u1ea1i ng\u00e0y thanh to\u00e1n theo quy \u0111\u1ecbnh t\u1ea1i h\u1ee3p \u0111\u1ed3ng giao d\u1ecbch trong ng\u00e0y \u0111\u00e3 k\u00fd v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n v\u00e0 ph\u00e1p lu\u1eadt li\u00ean quan;<\/p>\n

g) C\u00f4ng ty ch\u1ee9ng kho\u00e1n c\u00f3 quy\u1ec1n y\u00eau c\u1ea7u nh\u00e0 \u0111\u1ea7u t\u01b0 k\u00fd qu\u1ef9 ti\u1ec1n ho\u1eb7c ch\u1ee9ng kho\u00e1n tr\u01b0\u1edbc khi cho ph\u00e9p nh\u00e0 \u0111\u1ea7u t\u01b0 th\u1ef1c hi\u1ec7n giao d\u1ecbch trong ng\u00e0y;<\/p>\n

h) Trong m\u1ed9t ng\u00e0y giao d\u1ecbch, t\u1ed5ng gi\u00e1 tr\u1ecb giao d\u1ecbch trong ng\u00e0y (x\u00e1c \u0111\u1ecbnh tr\u00ean t\u1ed5ng gi\u00e1 tr\u1ecb mua v\u00e0 gi\u00e1 tr\u1ecb b\u00e1n \u0111\u00e3 th\u1ef1c hi\u1ec7n) t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u01b0\u1ee3c v\u01b0\u1ee3t qu\u00e1 m\u1ed9t t\u1ef7 l\u1ec7 theo quy \u0111\u1ecbnh so v\u1edbi v\u1ed1n ch\u1ee7 s\u1edf h\u1eefu c\u1ee7a c\u00f4ng ty. Kh\u1ed1i l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c giao d\u1ecbch trong ng\u00e0y t\u1ea1i m\u1ed7i c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u01b0\u1ee3c v\u01b0\u1ee3t qu\u00e1 m\u1ed9t t\u1ef7 l\u1ec7 theo quy \u0111\u1ecbnh so v\u1edbi kh\u1ed1i l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n \u0111ang l\u01b0u h\u00e0nh. C\u00e1c t\u1ef7 l\u1ec7 n\u00e0y th\u1ef1c hi\u1ec7n theo quy ch\u1ebf c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc.<\/p>\n

3. Ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch trong ng\u00e0y kh\u00f4ng \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n trong kho\u1ea3ng th\u1eddi gian n\u0103m (05) ng\u00e0y l\u00e0m vi\u1ec7c, tr\u01b0\u1edbc ng\u00e0y \u0111\u0103ng k\u00fd cu\u1ed1i c\u00f9ng \u0111\u1ec3 th\u1ef1c hi\u1ec7n quy\u1ec1n cho c\u1ed5 \u0111\u00f4ng g\u1eafn v\u1edbi m\u00e3 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c giao d\u1ecbch trong ng\u00e0y.<\/p>\n

4. Trong tr\u01b0\u1eddng h\u1ee3p c\u1ea7n thi\u1ebft \u0111\u1ec3 \u1ed5n \u0111\u1ecbnh th\u1ecb tr\u01b0\u1eddng, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00f3 quy\u1ec1n y\u00eau c\u1ea7u t\u1ea1m ng\u1eebng c\u00e1c ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch trong ng\u00e0y.<\/p>\n

5. C\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u00e1p \u1ee9ng \u0111i\u1ec1u ki\u1ec7n \u0111\u01b0\u1ee3c cung c\u1ea5p d\u1ecbch v\u1ee5 cho vay ch\u1ee9ng kho\u00e1n ph\u1ea3i ng\u1eebng ngay vi\u1ec7c k\u00fd m\u1edbi, gia h\u1ea1n h\u1ee3p \u0111\u1ed3ng giao d\u1ecbch trong ng\u00e0y, ng\u1eebng cho ph\u00e9p nh\u00e0 \u0111\u1ea7u t\u01b0 th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch trong ng\u00e0y v\u00e0 b\u00e1o c\u00e1o b\u1eb1ng v\u0103n b\u1ea3n cho \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc trong v\u00f2ng 48 gi\u1edd k\u1ec3 t\u1eeb khi x\u1ea3y ra s\u1ef1 ki\u1ec7n tr\u00ean.<\/p>\n

6. T\u00f9y v\u00e0o t\u00ecnh h\u00ecnh th\u1ecb tr\u01b0\u1eddng, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc tri\u1ec3n khai ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch trong ng\u00e0y, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ban h\u00e0nh quy ch\u1ebf h\u01b0\u1edbng d\u1eabn giao d\u1ecbch trong ng\u00e0y.<\/p>\n

\u0110i\u1ec1u 11. Giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m<\/b><\/p>\n

1. H\u1ee3p \u0111\u1ed3ng giao d\u1ecbch vay ch\u1ee9ng kho\u00e1n tr\u00ean h\u1ec7 th\u1ed1ng vay v\u00e0 cho vay ch\u1ee9ng kho\u00e1n t\u1ea1i T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch b\u00e1n kh\u00f4ng c\u00f3 b\u1ea3o \u0111\u1ea3m t\u1ed1i thi\u1ec3u ph\u1ea3i bao g\u1ed3m n\u1ed9i dung v\u1ec1 t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m, l\u00e3i su\u1ea5t vay, th\u1eddi h\u1ea1n vay, gia h\u1ea1n vay, x\u1eed l\u00fd t\u00e0i s\u1ea3n b\u1ea3o \u0111\u1ea3m khi nh\u00e0 \u0111\u1ea7u t\u01b0 kh\u00f4ng ho\u00e0n tr\u1ea3 ch\u1ee9ng kho\u00e1n, ph\u01b0\u01a1ng th\u1ee9c gi\u1ea3i quy\u1ebft khi c\u00f3 tranh ch\u1ea5p ph\u00e1t sinh, n\u00eau r\u00f5 c\u00e1c r\u1ee7i ro, thi\u1ec7t h\u1ea1i c\u00f3 th\u1ec3 ph\u00e1t sinh v\u00e0 chi ph\u00ed.<\/p>\n

2. Nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m t\u1ea1i c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c cung c\u1ea5p d\u1ecbch v\u1ee5 cho vay ch\u1ee9ng kho\u00e1n, n\u01a1i nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch \u0111\u1ec3 th\u1ef1c hi\u1ec7n giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m. T\u00e0i kho\u1ea3n giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m l\u00e0 t\u00e0i kho\u1ea3n ri\u00eang bi\u1ec7t ho\u1eb7c \u0111\u01b0\u1ee3c h\u1ea1ch to\u00e1n d\u01b0\u1edbi h\u00ecnh th\u1ee9c ti\u1ec3u kho\u1ea3n c\u1ee7a t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n hi\u1ec7n c\u00f3 c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0. C\u00f4ng ty ch\u1ee9ng kho\u00e1n ph\u1ea3i h\u1ea1ch to\u00e1n t\u00e1ch bi\u1ec7t t\u00e0i kho\u1ea3n b\u00e1n kh\u00f4ng c\u00f3 b\u1ea3o \u0111\u1ea3m v\u1edbi t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9, t\u00e0i kho\u1ea3n giao d\u1ecbch trong ng\u00e0y v\u00e0 t\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n th\u00f4ng th\u01b0\u1eddng c\u1ee7a t\u1eebng nh\u00e0 \u0111\u1ea7u t\u01b0.<\/p>\n

3. C\u00e1c ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ph\u00e9p giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m l\u00e0 c\u1ed5 phi\u1ebfu, ch\u1ee9ng ch\u1ec9 qu\u1ef9 ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch tr\u00ean h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u00e0 \u0111\u00e1p \u1ee9ng c\u00e1c ti\u00eau ch\u00ed v\u1ec1 th\u1eddi gian ni\u00eam y\u1ebft, \u0111\u0103ng k\u00fd giao d\u1ecbch; v\u1ec1 quy m\u00f4 v\u1ed1n v\u00e0 k\u1ebft qu\u1ea3 ho\u1ea1t \u0111\u1ed9ng kinh doanh c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh; v\u1ec1 t\u00ednh thanh kho\u1ea3n v\u00e0 bi\u1ebfn \u0111\u1ed9ng gi\u00e1 (n\u1ebfu c\u00f3); minh b\u1ea1ch th\u00f4ng tin v\u00e0 c\u00e1c ti\u00eau ch\u00ed kh\u00e1c theo h\u01b0\u1edbng d\u1eabn c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u00f4ng b\u1ed1 danh s\u00e1ch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m ho\u1eb7c ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u01b0\u1ee3c giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m tr\u00ean c\u01a1 s\u1edf ti\u00eau ch\u00ed do \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc quy \u0111\u1ecbnh.<\/p>\n

4. Ho\u1ea1t \u0111\u1ed9ng b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m kh\u00f4ng \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n trong kho\u1ea3ng th\u1eddi gian n\u0103m (05) ng\u00e0y l\u00e0m vi\u1ec7c tr\u01b0\u1edbc ng\u00e0y \u0111\u0103ng k\u00fd cu\u1ed1i c\u00f9ng \u0111\u1ec3 th\u1ef1c hi\u1ec7n quy\u1ec1n cho c\u1ed5 \u0111\u00f4ng g\u1eafn v\u1edbi m\u00e3 ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m.<\/p>\n

5. T\u00f9y v\u00e0o t\u00ecnh h\u00ecnh th\u1ecb tr\u01b0\u1eddng, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc tri\u1ec3n khai ho\u1ea1t \u0111\u1ed9ng b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m. \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ban h\u00e0nh quy ch\u1ebf h\u01b0\u1edbng d\u1eabn giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m.<\/p>\n

6. Trong tr\u01b0\u1eddng h\u1ee3p c\u1ea7n thi\u1ebft \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o an to\u00e0n cho ho\u1ea1t \u0111\u1ed9ng c\u1ee7a th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00f3 th\u1ec3 y\u00eau c\u1ea7u c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n t\u1ea1m ng\u1eebng th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch b\u00e1n kh\u1ed1ng c\u00f3 b\u1ea3o \u0111\u1ea3m.<\/p>\n

\u0110i\u1ec1u 12. Giao d\u1ecbch t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng<\/b><\/p>\n

1. Ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng ph\u1ea3i tu\u00e2n th\u1ee7 nguy\u00ean t\u1eafc sau:<\/p>\n

a) Th\u00e0nh vi\u00ean giao d\u1ecbch tham gia t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng ph\u1ea3i trung th\u1ef1c v\u00e0 thi\u1ec7n ch\u00ed khi th\u1ef1c hi\u1ec7n ch\u1ee9c n\u0103ng t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng v\u00ec m\u1ee5c ti\u00eau b\u1ea3o \u0111\u1ea3m th\u1ecb tr\u01b0\u1eddng ho\u1ea1t \u0111\u1ed9ng hi\u1ec7u qu\u1ea3, \u1ed5n \u0111\u1ecbnh;<\/p>\n

b) T\u00f9y v\u00e0o \u0111i\u1ec1u ki\u1ec7n th\u1ecb tr\u01b0\u1eddng, th\u00e0nh vi\u00ean giao d\u1ecbch tham gia t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng \u0111\u01b0\u1ee3c y\u1ebft gi\u00e1 hai chi\u1ec1u ho\u1eb7c y\u1ebft gi\u00e1 m\u1ed9t chi\u1ec1u \u0111\u1ed1i v\u1edbi m\u00e3 ch\u1ee9ng kho\u00e1n \u0111\u00e3 \u0111\u0103ng k\u00fd t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng theo quy ch\u1ebf c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam v\u00e0 h\u1ee3p \u0111\u1ed3ng t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng. M\u00e3 ch\u1ee9ng kho\u00e1n c\u1ea7n t\u1ea1o thanh kho\u1ea3n, th\u1eddi h\u1ea1n t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng, ph\u01b0\u01a1ng th\u1ee9c y\u1ebft gi\u00e1, gi\u1edbi h\u1ea1n ch\u00eanh l\u1ec7ch gi\u00e1 gi\u1eefa gi\u00e1 ch\u00e0o mua v\u00e0 gi\u00e1 ch\u00e0o b\u00e1n, t\u1ef7 l\u1ec7 b\u00e1o gi\u00e1, th\u1eddi gian duy tr\u00ec b\u00e1o gi\u00e1, c\u00e1c tr\u01b0\u1eddng h\u1ee3p \u0111\u01b0\u1ee3c t\u1ea1m ng\u1eebng giao d\u1ecbch th\u1ef1c hi\u1ec7n theo quy ch\u1ebf c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam v\u00e0 h\u1ee3p \u0111\u1ed3ng t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng (n\u1ebfu c\u00f3);<\/p>\n

c) Th\u00e0nh vi\u00ean giao d\u1ecbch tham gia t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng ch\u1ec9 \u0111\u01b0\u1ee3c \u0111\u1eb7t l\u1ec7nh gi\u1edbi h\u1ea1n cho c\u00e1c giao d\u1ecbch t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng. Th\u00e0nh vi\u00ean giao d\u1ecbch tham gia t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng \u0111\u01b0\u1ee3c \u0111\u1ed3ng th\u1eddi th\u1ef1c hi\u1ec7n giao d\u1ecbch t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng v\u00e0 t\u1ef1 doanh nh\u01b0ng ph\u1ea3i b\u1ea3o \u0111\u1ea3m nguy\u00ean t\u1eafc v\u1ec1 gi\u00e1 theo quy ch\u1ebf c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam.<\/p>\n

2. Th\u00e0nh vi\u00ean giao d\u1ecbch tham gia t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng \u0111\u01b0\u1ee3c y\u1ebft gi\u00e1 \u0111\u1ec3 \u0111\u1ed3ng th\u1eddi mua, b\u00e1n m\u00e3 ch\u1ee9ng kho\u00e1n m\u00e0 th\u00e0nh vi\u00ean \u0111\u00f3 \u0111\u01b0\u1ee3c ch\u1ec9 \u0111\u1ecbnh l\u00e0 nh\u00e0 t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng trong c\u00f9ng \u0111\u1ee3t kh\u1edbp l\u1ec7nh. C\u00e1c giao d\u1ecbch n\u00e0y ph\u1ea3i \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n tr\u00ean t\u00e0i kho\u1ea3n t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng.<\/p>\n

3. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam c\u00f3 tr\u00e1ch nhi\u1ec7m x\u00e2y d\u1ef1ng v\u00e0 ban h\u00e0nh quy ch\u1ebf h\u01b0\u1edbng d\u1eabn ho\u1ea1t \u0111\u1ed9ng t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng sau khi \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ch\u1ea5p thu\u1eadn.<\/p>\n

4. S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam c\u00f3 quy\u1ec1n ch\u1ea5m d\u1ee9t ho\u1eb7c \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng c\u1ee7a th\u00e0nh vi\u00ean giao d\u1ecbch \u0111\u1ed1i v\u1edbi m\u1ed9t ho\u1eb7c m\u1ed9t s\u1ed1 ch\u1ee9ng kho\u00e1n trong tr\u01b0\u1eddng h\u1ee3p th\u00e0nh vi\u00ean giao d\u1ecbch kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u1ea7y \u0111\u1ee7 ngh\u0129a v\u1ee5 tr\u00e1ch nhi\u1ec7m v\u00e0 quy ch\u1ebf c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam v\u00e0 vi ph\u1ea1m c\u00e1c \u0111i\u1ec1u kho\u1ea3n c\u1ee7a h\u1ee3p \u0111\u1ed3ng t\u1ea1o l\u1eadp th\u1ecb tr\u01b0\u1eddng (n\u1ebfu c\u00f3).<\/p>\n

\u0110i\u1ec1u 13. Hi\u1ec7u l\u1ef1c thi h\u00e0nh<\/b><\/p>\n

Th\u00f4ng t\u01b0 n\u00e0y c\u00f3 hi\u1ec7u l\u1ef1c thi h\u00e0nh k\u1ec3 t\u1eeb ng\u00e0y 15 th\u00e1ng 02 n\u0103m 2021 v\u00e0 thay th\u1ebf Th\u00f4ng t\u01b0 s\u1ed1\u00a0203\/2015\/TT-BTC\u00a0ng\u00e0y 21 th\u00e1ng 12 n\u0103m 2015 c\u1ee7a B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh h\u01b0\u1edbng d\u1eabn v\u1ec1 giao d\u1ecbch tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/p>\n

\u0110i\u1ec1u 14. T\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n<\/b><\/p>\n

\u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n H\u00e0 N\u1ed9i, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Th\u00e0nh ph\u1ed1 H\u1ed3 Ch\u00ed Minh, T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00fd, th\u00e0nh vi\u00ean b\u00f9 tr\u1eeb, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c c\u00f3 li\u00ean quan ch\u1ecbu tr\u00e1ch nhi\u1ec7m thi h\u00e0nh Th\u00f4ng t\u01b0 n\u00e0y.\/.<\/p>\n\n\n\n

\nN\u01a1i nh\u1eadn:<\/i><\/b>
\n<\/i><\/b>– V\u0103n ph\u00f2ng Trung \u01b0\u01a1ng v\u00e0 c\u00e1c Ban c\u1ee7a \u0110\u1ea3ng;
\n– V\u0103n ph\u00f2ng T\u1ed5ng B\u00ed th\u01b0;
\n– V\u0103n ph\u00f2ng Ch\u00ednh ph\u1ee7;
\n– V\u0103n ph\u00f2ng Qu\u1ed1c h\u1ed9i;
\n– V\u0103n ph\u00f2ng Ch\u1ee7 t\u1ecbch n\u01b0\u1edbc;
\n– Th\u1ee7 t\u01b0\u1edbng, c\u00e1c Ph\u00f3 Th\u1ee7 t\u01b0\u1edbng Ch\u00ednh ph\u1ee7;
\n– C\u00e1c B\u1ed9, c\u01a1 quan ngang B\u1ed9, c\u01a1 quan thu\u1ed9c Ch\u00ednh ph\u1ee7;
\n– C\u01a1 quan Trung \u01b0\u01a1ng c\u1ee7a c\u00e1c \u0111o\u00e0n th\u1ec3;
\n– Vi\u1ec7n Ki\u1ec3m s\u00e1t nh\u00e2n d\u00e2n t\u1ed1i cao;
\n– T\u00f2a \u00e1n nh\u00e2n d\u00e2n t\u1ed1i cao;
\n– H\u0110ND, UBND c\u00e1c t\u1ec9nh, th\u00e0nh ph\u1ed1 tr\u1ef1c thu\u1ed9c Trung \u01b0\u01a1ng;
\n– Ki\u1ec3m to\u00e1n Nh\u00e0 n\u01b0\u1edbc;
\n– C\u00f4ng b\u00e1o;
\n– C\u1ed5ng Th\u00f4ng tin \u0111i\u1ec7n t\u1eed Ch\u00ednh ph\u1ee7;
\n– C\u1ee5c ki\u1ec3m tra v\u0103n b\u1ea3n (B\u1ed9 T\u01b0 ph\u00e1p);
\n– C\u00e1c \u0111\u01a1n v\u1ecb thu\u1ed9c B\u1ed9 T\u00e0i ch\u00ednh;
\n– C\u1ed5ng Th\u00f4ng tin \u0111i\u1ec7n t\u1eed B\u1ed9 T\u00e0i ch\u00ednh;
\n– C\u1ed5ng Th\u00f4ng tin \u0111i\u1ec7n t\u1eed \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc;
\n– L\u01b0u: VT, UBCK (150b).<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n","protected":false},"excerpt":{"rendered":"

B\u1ed8 T\u00c0I CH\u00cdNH ——- C\u1ed8NG H\u00d2A X\u00c3 H\u1ed8I CH\u1ee6 NGH\u0128A VI\u1ec6T NAM \u0110\u1ed9c l\u1eadp – T\u1ef1 do – H\u1ea1nh ph\u00fac ————— S\u1ed1: 120\/2020\/TT-BTC H\u00e0 N\u1ed9i, ng\u00e0y 31 th\u00e1ng 12 n\u0103m 2020 TH\u00d4NG T\u01af QUY \u0110\u1ecaNH GIAO D\u1ecaCH C\u1ed4 PHI\u1ebeU NI\u00caM Y\u1ebeT, \u0110\u0102NG K\u00dd GIAO D\u1ecaCH V\u00c0 CH\u1ee8NG CH\u1ec8 QU\u1ef8, TR\u00c1I PHI\u1ebeU DOANH NGHI\u1ec6P, CH\u1ee8NG QUY\u1ec0N […]<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":"","_links_to":"","_links_to_target":""},"categories":[102],"tags":[],"yst_prominent_words":[],"class_list":["post-5909","post","type-post","status-publish","format-standard","hentry","category-van-ban-phap-luat"],"_links":{"self":[{"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/posts\/5909","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/comments?post=5909"}],"version-history":[{"count":1,"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/posts\/5909\/revisions"}],"predecessor-version":[{"id":5910,"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/posts\/5909\/revisions\/5910"}],"wp:attachment":[{"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/media?parent=5909"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/categories?post=5909"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/tags?post=5909"},{"taxonomy":"yst_prominent_words","embeddable":true,"href":"https:\/\/wincolaw.com.vn\/vi\/wp-json\/wp\/v2\/yst_prominent_words?post=5909"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}